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The name of this organization is the Certified Approver Advisory Committee (CAAC).

The Vice President for Research (VPR) is the academic officer responsible for the direction and guidance of the University's research mission. The VPR has delegated operational authority for oversight of the sponsored project process to the Director of the Office of Oversight, Analysis, and Reporting (OAR). The Certified Approver Program is a key component of the University's model for sponsored project financial management. OAR has administrative and oversight responsibility for the Certified Approver Program, and is the primary advocate for its mission. To meet that responsibility, OAR has established as an advisory committee to the program, the Certified Approver Advisory Committee (CAAC). This CAAC serves at the discretion of the Director of OAR and the VPR.

A. Purpose

     The purpose of the CAAC is to advise and assist in enhancing the grants    management environment by:

1. Providing opportunities for certified approvers to exchange information and network,
2. Providing certified approvers opportunities for continuing education, and
3. Providing a mechanism for certified approvers to actively participate in the grants management process, including compliance and systems enhancement.

B. Organizational Responsibility

1. The CAAC represents the interests of certified approvers as a group above individuals or other special interest groups of the University of Minnesota .
2. The CAAC follows the Operating Principles as specified herein.
3. The CAAC communicates the certified approvers' needs and recommendations to OAR.

The CAAC communicates information about relevant opportunities, programs, policy decisions and process changes to the certified approvers.

A. Categories

     1.   Elected Members

a. Number and Tenure
    Seven (7) Elected Members, selected by certified approvers, serve for a term of two (2) years from the date of election or until a successor is appointed. An additional year may be added to the term, if the member is appointed as CAAC Chair. Elected Members may serve for no more than four concurrent years. After a minimum one-year break, an individual may be eligible for re-election to the CAAC. There is no lifetime maximum.

b. Eligibility
    Elected Members must be appointed certified approvers. If an Elected Member changes departments during their term, they have the right to complete the remainder of their term, provided that they are functioning as an appointed certified approver in their new position.

c. Voting Rights
    Elected Members have full voting rights on the CAAC.

     2.   CAAC Chair

a. Tenure
    The CAAC Chair is an Elected Member who is appointed by the Director of OAR. The Director of OAR will determine the length of the appointment, and can appoint the CAAC Chair for a maximum of two (2) consecutive one-year terms.

b. Eligibility
    The CAAC Chair must be an appointed certified approver. If the CAAC Chair changes departments during their term, they have the right to complete the remainder of the term, provided that they are functioning as an appointed certified approver in their new position.

c. Voting Rights
    The CAAC Chair has full voting rights on the CAAC.

     3.   Alternate Member

a. Tenure
    Following the annual election, the Director of OAR and the CAAC Chair appoint one person from the ballot, or from the appointed CA roster to provide balance to the committee membership, who agrees to serve a one-year term should a vacancy occur.  The one-year term as Alternate Member is included in the four-year term limitation for Elected Members.

b. Eligibility
    The Alternate Member must be an appointed certified approver. If the Alternate Member changes departments during their term, they have the right to complete the remainder of the term, provided that they are functioning as an appointed certified approver in their new position.

c. Voting Rights
    The Alternate Member has no voting rights on the CAAC except as referenced in Section IV. D. Removal, but does participate in all committee activities.

     4.   Director of OAR

a. Tenure

    The Director of OAR is an ex-officio member of the CAAC and has the authority to appoint a designee to carry out his/her duties.

b. Voting Rights
    The Director of OAR or a designee has no voting rights on the CAAC, but participates in all committee activities.

     5.   Ex-Officio Members

a. Tenure
    Ex-Officio Members of the CAAC are invited by the Director of OAR. Ex-Officio Members serve at the discretion of the Director of OAR. The number of Ex-Officio Members may not be greater than the number of Elected Members.  Ex-Officio Members are from grants management units such as: OAR, SFR, & SPA.

b. Voting Rights
    Ex-Officio Members have no voting rights on CAAC, but may participate in all committee activities.

     6.   Recorder

a. Tenure
    The Recorder is a staff member of OAR. The appointment of a Recorder is part of the administrative responsibility of OAR, and is dependent upon need and funding availability.

b. Voting Rights
    The Recorder has no voting rights on CAAC, but may participate in all committee activities.

 

B. Quorum

    In order to have a vote, a majority (51%) of Elected Members must be present. If less than a majority of the Elected Members is present, they may choose to hold the meeting, but any voting must be conducted at a later date or by email.

 

C. Vacancies

    The CAAC Chair officially appoints the Alternate Member to any Elected Member vacancy occurring on the CAAC. This person serves for the remainder of the Elected Member's term.

    The Director of OAR and CAAC Chair appoint an alternate from the ballot, or from the appointed CA roster to provide balance to the committee membership, to serve in the now-vacant Alternate Member position. This person serves for the remainder of the Alternate Member's term.

 

D. Removal

    Removal from the CAAC is determined by a majority vote of the members. In case of a tie vote, the alternate member casts the deciding vote.  Cause for removal could include, but is not limited to, the following:

a. When an Elected or Alternate Member misses two (2)                  consecutive regular meetings without notifying the Chair or            Recorder prior to the meeting.  See also section VII.B.

b. When an Elected or Alternate Member has not attended four (4)     consecutive regular meetings or has not actively served              on any CAAC subcommittee.

c. When an Elected or Alternate Member fails to correct                   inappropriate behavior after receiving one written warning             from the Director of OAR.

d. Any grievances about removal from the CAAC will be resolved      by the Director of OAR

A. Duties of Elected and Alternate Members:

1. Consistently attend committee meetings.
2. Participate in meetings and activities.
3. Chair or serve on at least one subcommittee or project each year. This is encouraged for the Alternate Member.
4. Assist the Chair in developing, implementing and facilitating at least two (2) CA User Group meetings per year.
5. Recruit CAs for service on subcommittees.

B. Duties of the CAAC Chair in addition to those listed above:

1. Work in collaboration with the Director of OAR or designee to carry out the responsibilities of the CAAC.
2. Provide leadership to ensure that the CAAC roles and responsibilities are carried out.
3. Determine agendas for CAAC meetings.
4. Preside at all meetings of the CAAC and other special meetings as needed.
5. Facilitate at least two (2) CA User Group meetings per year.
6. Ensure that the CAAC Operating Principles are enforced.
7. Ensure that the needs and recommendations of the CAAC are communicated to OAR.
8. Organize and conduct elections for CAAC.
9. Assist with appointment of future CAAC Chair.
10. Serve as liaison to GMUN and CRAD.

C. Duties of the Director of OAR with respect to CAAC:

1. Advise and support the CAAC.
2. Work with the Chair to appoint an alternate member when an elected member resigns.
3. In consultation with the current Chair, appoint an Elected Member to serve as CAAC Chair.  Should no Elected Member be able to serve, the alternate may be appointed Chair.
4. Assist Chair with meeting agendas.
5. Develop, implement and facilitate core curriculum portion of the CA continuing education program per current policy.
6. Serve as primary advocate for CA mission.
7. Ensure Recorder availability to the CAAC, when feasible.
8. The Director of OAR has the authority to appoint a designee to carry out some or all of these duties.

D. Duties of Ex-Officio members, or their designees:

1. Advise and support the CAAC.
2. Provide input to the CAAC on issues directly related to his/her responsibilities in the grants management process.
3. Be available to serve on subcommittees.
4. Attend all CAAC meetings.

E. Duties of the Recorder:

1. Issue notices and agendas of meetings as appropriate.
2. Take meeting notes at all CAAC business meetings.
3. Provide archive of official communication for CAAC.
4. Ensure the maintenance of current CAAC membership and mailing lists.
5. Be available to serve on subcommittees.

A. Nominations

1. CAAC solicits nominations from the CA User Group two (2) months in advance of the election.
2. CAAC members can nominate CAs for the ballot, provided they have contacted the individual they want to nominate and that individual has agreed to serve, if elected.

B. Elections

1. Official ballots are used for all CAAC elections. Elections are held in May of each year.  Votes are counted by the incoming and outgoing Chairs and the Recorder.
2. The CAAC Chair communicates the election results to all CAs at the User Group meeting following the election.
3. New Elected and Alternate Members take office at the first meeting of the CAAC following the election.

C. Appointment of CAAC Chair

    The Director of OAR appoints the CAAC Chair in Spring of each year, and communicates the appointment to the members of the CA User Group following the elections. The appointment is effective at the first meeting of the CAAC following the election of new members, with the interim period used as a transition time between the outgoing and incoming CAAC Chairs. The Director of OAR can appoint the CAAC Chair for a maximum of two (2) one-year consecutive terms.

A. Type and Frequency

1. The CAAC meets at least ten (10) times per fiscal year.
2. At the discretion of the CAAC Chair and/or the Director of OAR or designee, special meetings can be convened.

B. Absences

    All CAAC members must notify the CAAC Chair or Recorder in advance of their impending absence from a scheduled CAAC meeting.

 

C. Procedures

    The procedures at all meetings of the CAAC will be governed by these Operating Principles.

A. Purpose

    The CAAC may establish subcommittees, where appropriate, in responding to unique interests and opportunities as well as in the ongoing administration and delivery of programs and services of the Certified Approver Program. The CAAC Chair and the Director of OAR or designee will define the authority of each subcommittee at its inception.

 

B. Membership

    All appointed and non-appointed CAs are eligible to serve on subcommittees. They may volunteer or be appointed by the CAAC Chair. Ex-Officio Members and the Recorder are also eligible to serve on subcommittees. Subcommittee chairs must be current CAAC members.

 

C. Subcommittee Results

    Subcommittee chairs communicate the specific results of their activities to the CAAC and to the CA User Group. Committee Chairs must provide a written report of their activities, which includes any recommendations, to the CAAC Chair and Director of OAR or designee for advice and follow-up.

1. The ultimate authority for maintaining the CAAC Operating Principles rests with the Director of OAR or designee and the VPR.
2. The CAAC may recommend amendments of the CAAC Operating Principles by a favorable majority vote of the CAAC Elected Members. These recommendations will be made in writing to the Director of OAR for a final decision.
3. The Director of OAR or designee may recommend amendments of the CAAC Operating Principles in writing to the CAAC for their review and feedback.
4. Any disputes will be resolved by the VPR after consultation with CRAD (Council of Research Associate Deans).

1. The ultimate authority for dissolving the CAAC rests with the Director of OAR and the VPR after consultation with the CRAD.
2. The CAAC may recommend dissolution by a favorable majority vote of the Elected Members. A copy of the proposal to dissolve must be distributed to all CAs at least thirty (30) days prior to the vote by the CAAC members, to allow for comment by the CAs. The final recommendation will be made in writing to the Director of OAR.
3. The Director of OAR may recommend dissolution of the CAAC in writing to the CAAC.
4. Any disputes will be resolved by the VPR after consultation with the CRAD.